ESMA LIBRARY

The ESMA Library contains all ESMA documents. Please use the search and filter options to find specific documents.
2173
DOCUMENTS

REFINE YOUR SEARCH

Sections

Type of document

Your filters
MiFID - Investor Protection X MiFID - Secondary Markets X Credit Rating Agencies X Fund Management X CESR Archive X Careers X Securitisation X
Reset all filters
Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
08/01/2007 06-707 3L3 work programme for 2007 Reference PDF
104.35 KB
The 3L3 work programme for 2007 was developed in accordance with the Joint Protocol of 24 November 2005. In the work programme some issues are referred to as
19/05/2008 08-283 3rd extract from EECS’s database of enforcement decisions Final Report PDF
169.21 KB
23/12/2008 09-966 4th extract from EECS’s database of enforcement decisions Final Report PDF
210.73 KB
24/03/2009 09-252 5th extract from EECS’s database of enforcement decisions Final Report PDF
216.25 KB
26/08/2009 09-720 6th extract from EECS’s database of enforcement decisions Final Report PDF
241.6 KB
16/12/2009 09-1134 7th Extract from EECS’s Database of Enforcement Decisions Final Report PDF
293.15 KB
13/07/2010 10-834 8th Extract from EECS’s Database of Enforcement Decisions Final Report PDF
161.13 KB
25/10/2010 10-1151 9th Extract from EECS’s Database of Enforcement Decisions Final Report PDF
136.48 KB
01/08/2001 01-045fusion A "European Passeport" for issuers: An additional submission to the European Commission on the issue raised in paragraph 18 of the FESCO report of 20 December 2000 (Ref. Fesco/00-138b) Final Report PDF
223.73 KB
The last FESCO paper on a "European Passeport" for issuer, stated that in a member of areas, further work needed to be undetaken. FESCO has considered some of these issues and is now submitting for comment the following paper regarding disclosure requiremnents for products different from shares and ordinary bonds, the offer and a proposal on the content of the Pro Forma and the other financial information to be included in the propesctus. This complementary document is not intended to pre-empt any work to be undertaken by the Committee of European Securities Regulators in relation to the proposed directive on prospectuses. Rather this paper aims to complete aspects of the FESCO first paper and inform the subsequent work by the Committee. All comments received will be forwarded to the European Commission, unless respondent state otherwise.
09/08/2007 07-429 A compilation of responses by CESR Members to the European Commission's request for initial assistance on commodity and exotic derivatives and related business Final Report PDF
325.5 KB
20/12/2000 00-138b A European Passport for Issuers- Report to the European Commission Final Report PDF
355 KB
29/06/2000 00-096l A European Regime Against Market Abuse Final Report PDF
70.68 KB
09/04/2002 01-014d A European Regime of Investor Protection – The Harmonisation of Conduct of Business Rules CESR Document PDF
133.19 KB
This set of Standards and Rules provides harmonised core conduct of business rules for retail investors in the following areas: Standards and Rules of general application, information to be provided to customers, the "know your customer" standards and the duty of care, customers agreements, dealing requirements (including the "best execution" standards) and individual discretionary portfolio management. The profesional and counterparty regime, including the categorisation of investors paper, requires further work by CESR.
08/07/2002 02-098b A European Regime of Investor Protection – The Professional and Counterparty Regimes CESR Document PDF
63.43 KB
This paper completes the work conducted by CESR on the harmonization of conduct of business rules under the existing Article 11 of the Investment Services Directive. It complements the document (CESR/01-014d) adopted in April 2002 on the so called "retail regime", i.e. the regime applicable to investment services provided to non-professional customers. The paper builds on the proposal for the "Categorisation of investors for the purpose of conduct of business rules". The paper contains: I) core conduct of business rules which should apply to investment services between investment firms and professionals and II) core standards for "counterparty relationships".
06/03/2003 03-055 A network of regulators to meet the challenges of regulating European Capital Markets by Arthur Docters van Leeuwen Speech PDF
96.06 KB
Text of the speech given by the CESR Chairman, Arthur Docters van Leeuwen, on 6th March 2003 at the Guildhall in London.
23/11/2007 07-783 A proposed evolution of EU securities supervision beyond 2007 Final Report PDF
101.48 KB
24/08/2007 ABI-CRA ABI response Reference PDF
81.59 KB
31/05/2010 AMP Italy Accepted Market Practics: Liquidity Enhancement Agreements and Purchase of own shares to set up a shares warehouse position (Italy) Reference PDF
151.52 KB
08/10/2010 10-1264c ACTE D’ENGAGEMENT- PRESTATIONS DE MISSION DE MAITRISE D’OEUVRE POUR L’AGENCEMENT DES NOUVEAUX LOCAUX DU CESR A PARIS CLOSED Procedure PDF
134.85 KB
23/09/2010 10-917 Activity Report on IFRS enforcement 2009 Final Report PDF
249.55 KB